account the client preferred. In so doing, {E} did not contact nor inquire the client's demand directly even though it was possible to do so. Instead, she asked an employee who was not an approved
the audit committee?s reports were concluded from information asked from the accounting units working on the suspicious issuers. They neither reviewed documents nor examined by any other means despite
decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5
Behavioral control N N Y Y Y Observations 619 619 556 556 556 R-squared 0.006 0.034 0.036 YES 0.036 Notes: This table shows the regression result from the first experiment where participants were asked to
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
found that during August 2014 to March 2015 many clients asked the company to add another contact phone number to their profiles and the company subsequenlty used only the new number to confirm trading
file Form 69 – CIS material update .doc file / .pdf file Sales Report Form .doc file / .pdf file FAQs Frequently Asked Questions on the ASEAN CIS Framework List of approved ASEAN CIS List of
Financial Disclosures G20 Finance Ministers and Central Bank Governors asked the Financial Stability Board (FSB) to review how the financial sector can take account of climate-related issues. The Task
enquired; (5) in case of using a sign or other symbol in rating mutual fund , such sign or symbol must not be contrary to the law or pubic order; (6) in the case where the investment advisory company intends